TITLE: Personal Allowance Account

POLICY: ID-1020 TITLE: Personal Allowance Account EFFECTIVE DATE: 1/1/2009 AUTHORIZED BY: Board of Trustees REVISION DATE: 1/1/2014

Rule: 5123:2-3-14

Policy: It is the policy of HONH to allow individuals to have access to personal funds.

Procedure:

A. Personal allowance accounts are accounts kept in the home for consumer’s personal use. a. The maximum amount of cash money to be kept in these accounts is not to exceed $50 and may vary depending on county board requirements. b. Receipts for any cash purchases are to be obtained and kept with the account. c. Staff signature(s) and consumer initials are required with each transaction. This may vary from county to county due to county board requirements. d. Personal Allowance Accounts will be analyzed at a minimum of every 30 days. B. When accounts are turned in, the cash on hand is counted with a witness present. a. A new ledger with the balance brought forward (BBF) from the prior ledger will be created on the 1st of each month. b. Date and sign the ledger. c. Return the cash counted to the consumer’s bag. C. The pay stubs, activity stubs, and any proof of income should be submitted with the personal allowance account. a. All consumer income should be deposited into a savings or checking account; exception being a behavioral plan or ISP that dictates otherwise. b. Verify the income with deposit slips, bank statements, and/or pay stubs. D. Verify all withdrawals from the bank account to amounts deposited in the personal allowance ledger and withdrawal slips from the bank (if furnished by the bank at the time of the transaction) a. As some withdrawals are made to purchase items, match these withdrawals to the receipts that are submitted with the account. b. If clothing is purchased, the tag from the article of clothing must accompany the receipt. E. Receipts are verified by matching the individual source documents with the entries from the personal allowance account. a. Receipts should be numbered on the ledger with the same number on the receipt. b. Once all receipts have been verified, staple to the back of the ledger. F. The ledger balance must agree with the cash on hand. G. Discrepancy Report a. Discrepancy Report is prepared to inform the Director of Special Populations of the findings, if any of the following is evident: a.i. Additional information or receipts are needed; a.ii. The account was incorrect; a.iii. If the ledger balance and cash on hand are different; a.iv. Copy and send what is required by regional county board and file report in consumer file H. General Instructions: a. Use the current and correct form. b. The maximum amount of cash in the Personal Allowance Account (PA) at any one time is $50. A deposit into the savings/checking account must be made if the balance exceeds $50. c. There can never be a negative balance in an account. d. The provider shall not use an individual’s personal funds to supplement or replace the personal funds of another individual on a temporary or permanent basis. (Rule 5123:2-3-14-G) e. Enter data promptly. This prevents inaccuracies and loss of receipts. f. Enter data accurately. There is no acceptable “margin of error” for the consumer’s funds. The cash must always match the current balance as shown on the ledger. g. Write clearly and legibly. h. Consumers receiving Medicaid are allowed a maximum of $1,500 cash assets (checking + savings + cash). The Director of Special Populations and the provider monitor the account balances and monthly bank statements and communicate with the team. When the consumer’s balance is $1,200 - $1,300, a spend down will need to occur and the consumer and team consulted as to purchase priorities. I. Completing the Personal Funds Ledger Form (PA): (See Appendix A) a. Enter consumer’s first and last name. b. Enter the month and year. c. Manager or designee in the manager’s absence will sign the ledger as preparer of the form. d. Enter type of account (Savings, Checking, or PA). e. Enter the beginning balance. The beginning balance is the same as the ending balance of the month before. Two staff members will sign agreeing to the beginning balance. Only PA #1 will have a beginning balance. The beginning balance in any other PA is always $0. f. Enter the date of the transaction g. Amount Deposited – is the amount of money deposited into the PA. Enter the amount of the deposit on the ledger and in the “explanation of expenses” column, write where the money is coming from (from savings, checking, birthday gift, etc). For more information on “Making Deposits”, please refer to page Section L. g.i. Deposit from savings: Place copy of withdrawal slip with all other receipts. Mark at the top of the receipt where cash is going (PA#1, 2, etc). The staff and consumer will initial all withdrawal slips. g.ii. Deposit from checking: In the “explanation of expenses” write number of check cashed. g.iii. Deposit of birthday gift, etc: Write a receipt to the person providing the cash/gift and have that person sign both. Keep one copy and place with all other receipts. Please note where cash is going (PA#1, 2, etc). h. Enter amount spent. All expenses require a receipt that must include the date, vendor name and amount of purchase. If a receipt is not possible, the sales clerk or home manager must provide a written detailed receipt to verify proof of purchase. All personal funds expended by the provider on behalf of an individual shall be accompanied by a receipt for the expenditure. The receipt shall identify the item(s) procured, the date and the amount of the expenditure. The licensee shall obtain other proof of purchase if a receipt is unavailable (Rule 5123-2-3-14-K). i. When an individual expends personal funds on his/her own behalf or when personal funds are expended for the individual by a parent or custodian, if the individual is a minor or guardian, as applicable, a receipt is required for a single expenditure of fifty dollars or more unless otherwise specified in the individual’s plan. When a receipt is unavailable, the licensee shall obtain other proof of purchase (Rule 5123:2-3-14-L). j. All cash expenditures by the consumer must have a receipt unless it is specified in the consumer’s plan that he/she can manage a specified amount of cash without receipt for the expense. k. For all consumer clothing purchases, in addition to the cash register receipt, you must also turn in all clothing price tags and labels to verify the item, size, gender (when applicable) and price. The price tags can be taped next to the register receipt. If a consumer purchases clothing somewhere where there is no price tag, i.e. Goodwill, have the cashier write a brief description of the item(s) on the cash receipt and sign the cash receipt. l. There will be no hand-written receipts without prior approval from the Director of Special Populations. Some exceptions to this rule are: monies for church, workshop, bowling, vending machines. Hand written receipts for hair care will be accepted but must be signed by hair stylist and have name of business and phone number written on receipt. All hand written receipts must be signed by two staff members and the consumer. When your consumer takes money for weekends with family, please have a family member sign the receipt verifying that the consumer received these funds. m. There will be no purchases from 3rd party individuals without prior consent from the Director for Special Populations. Examples of these types of purchases include Home & Garden Party or any other type of home parties. Garage sale purchases will be limited to the amount of pocket money a consumer is allowed to carry according to the individuals ISP. n. Staff members are not permitted to sell or purchase any items to/from our consumers. o. Enter the new balance. Be sure to double check math for accuracy. p. Enter the receipt number. Number receipts in rank order (1, 2, 3, etc.) by date of expense. q. Write explanation of expense (Meal-McDonald’s, shopping, etc.). r. Unless otherwise specified in the consumer’s plan, cash given to the consumer must have either two staff signatures or one staff signature and the signature of the guardian on the receipt with the consumer’s signature. The provider is responsible for the personal funds ledger. Have the Consumer initial the form. s. At the end of the month, line out any unused lines and circle the last new balance. This will be the ending balance. J. Attachments to the Personal Funds Ledger: a. All receipts, copies of invoices, all deposit/withdrawal slips and all check stubs and copies of checks must be kept. b. Each receipt or copy of invoice must have the following: b.i. Date of purchase or date of invoice paid b.ii. Vendor name b.iii. Amount of expense b.iv. Receipt number b.v. Consumer and Staff signatures b.vi. Tape each receipt in order to pages attached to Personal Funds Ledger. c. After receipts, attach all deposit slips with corresponding check/money order stubs or copies. Each deposit slip must include: c.i. Bank name c.ii. Account number c.iii. Type of account (savings or checking) c.iv. Date of deposit c.v. Amount of deposit c.vi. Source of funds (workshop check, cash, allowance check) c.vii. Consumer and Staff signatures d. After deposit slips, attach all withdrawal slips. Each withdrawal slip must include: d.i. Bank name d.ii. Account number d.iii. Type of account (savings or checking) d.iv. Date of withdrawal d.v. Amount of withdrawal d.vi. Where cash is being used d.vii. Consumer and Staff signatures K. Each check/money order stub or copy must include: Date received Date deposited Type of account deposited to (savings or checking) Consumer and Staff signatures L. When is an additional PA #2 or PA#3 required? a. Any single or aggregate expense (several clothing purchases or gifts for Christmas) that exceeds $50 but is not more than $200 per one cash withdrawal is to be entered on a separate PA ledger. These purchases are not to be made without prior approval. The staff person is to plan the purchase(s) with the consumer and team and to accurately estimate the costs. Refer to the Consumer Purchase Procedures for exact details. The money is to be expensed within 48 hours of withdrawal. Follow the above procedures for documentation on the ledger form. Any ending balance is to be transferred to PA#1 or deposited to the savings or checking account. The ending balance on any PA ledger other than PA#1 is always $0. M. Making Corrections on the Personal Funds Ledger: a. DO NOT USE WHITE OUT. If you make a mistake when you are making an entry onto the PA ledger, cross out the entire line with a single line, write “error”, initial, and begin again on the next line. b. For earlier mistakes, put an asterisk (*) by the error. Go to the bottom of the ledger and put an asterisk in the beginning balance column, enter the date you are making the correction and write what the error is (math error – add 26¢ or amount spent entered incorrectly – deduct $1.02). Correct the ending balance. DO NOT WRITE OVER ALL OF THE ENDING BALANCES LISTED BEFORE. Just make the correction at the end. N. Making Deposits: a. To deposit a check or money order: Copy check stub and give originals to the Director for Special Populations. On the check/money order stub or photocopy, write the date the check/money order was received, the date it is being deposited and where it is being deposited (to savings or to checking). All consumer checks must first be deposited to the bank account and then withdrawn when needed as a cash withdrawal so that there is a clear trail of the receipt and disbursement. Personal funds received on behalf of the individual by the licensee shall be made available for the individual’s use within five working days of the licensee’s receipt of the funds (Rule 5123-3-14-J-3). The consumer signs the check/money order stub or photocopy. b. To deposit cash: Provide a written receipt to the person providing the cash and have them sign both receipts. On the receipt copy, write the date, who is depositing the cash, when it was deposited and into which account (PA#1, 2, etc). The consumer and staff signs the cash receipt. c. When depositing to the savings/checking account: Keep all deposit slips and attach to same sheet with pay stub. Note on each deposit slip the source(s) of the money (workshop check, personal allowance check, etc). The consumer and staff sign each deposit slip. d. When depositing to the Personal Funds Ledger: Note on the cash withdrawal slip where the cash is to be deposited (to PA #1, 2, 3, etc). The consumer and staff sign each withdrawal slip. Enter the amount of the deposit on the ledger and write next to the amount where the cash came from (from savings, checking, and/or family member). O. Personal Property Inventory: a. Please complete a personal property inventory for each consumer. Items to be included in this inventory are: a.i. Date of Purchase a.ii. Place of Purchase a.iii. Detailed Item Description a.iv. Serial # (large items such as TV’s, etc) a.v. Consumer & Staff Signatures a.vi. Purchase Price a.vii. Date Sold or Removed a.viii. Signatures of Consumer, Staff, and Recipient a.ix. Value Received a.x. Note Account receiving deposit of funds b. On the back of the inventory sheet is Physical Inventory record. Monthly the items on the front are to be inventoried and noted with the date, number of items present, notes, and signature of individual conducting count. b.i. Date of Inventory b.ii. No. of Items Inventoried b.iii. Notes of any discrepancies or concerns b.iv. Signature of Staff Verifying Items Physical Presence c. Any discrepancies will be immediately reported to the Director for Special Populations d. In the event that an employee is found to have misappropriated funds belonging to the individual being served, it is the responsibility of that employee to reimburse the individual. In addition, the employee will be terminated and the actions of the employee will be reported to the County Board of DD as committing a Major Unusual Incident (MUI).